Sara A. Ng
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Aiping Ng, who also goes by Sara Eng, Aiping Zhou, Sara Aiping Zhou, Sara Zhou, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1996. Sara had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2019 - April 29, 2020
PRIMEX
October 3, 2017 - November 5, 2018
WESTPARK CAPITAL, INC.
December 21, 2016 - June 22, 2017
MOLONEY SECURITIES ASSET MANAGEMENT LLC
November 3, 2016 - June 22, 2017
MOLONEY SECURITIES CO., INC.
October 19, 2015 - September 21, 2016
AXIOM CAPITAL MANAGEMENT, INC.
March 3, 2014 - November 13, 2015
FINANCIAL WEST GROUP
February 28, 2014 - November 13, 2015
FINANCIAL WEST GROUP
November 20, 2002 - March 3, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 18, 2002 - March 3, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 8, 2001 - November 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 13, 2000 - November 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 27, 1999 - December 22, 2000
GRUNTAL & CO., L.L.C.
July 11, 1997 - November 2, 1999
MORGAN STANLEY DW INC.
February 8, 1996 - July 16, 1997
IDS LIFE INSURANCE COMPANY
February 8, 1996 - July 16, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
